Author: Greg Hotaling, Regulatory Content Manager, Confluence COP27, the UN’s annual climate change conference held this year in Egypt from......
Author: Matt Calabro, Co-Executive Director, Compliance Services, Confluence This blog was originally published at Markets Media on October 7, 2...
The SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enha...
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
“I am superior, sir, in many ways. But I would gladly give it up to be human.” - Data It’s an observation made by the fictional lieutenant c...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosu...
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund adm...
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public co...
Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around....
Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for ...
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)...
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment managemen...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…
Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss:…
Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…
Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…
A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…
AAAAGH! That’s the frightened response we expect asset management company executives to make when they are hit by yet another…
For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…
In general, an expert network platform facilitates the exchange of information between “experts” and investment professionals. Unfortunately, certain industry participants…
A new challenge is facing Investment Advisers: an aging client demographic! With it comes the need to reconsider your policies…